[Code of Federal Regulations]
[Title 23, Volume 1]
[Revised as of April 1, 2004]
From the U.S. Government Printing Office via GPO Access
[CITE: 23CFR420.209]

[Page 88-89]
 
                           TITLE 23--HIGHWAYS
 
 CHAPTER I--FEDERAL HIGHWAY ADMINISTRATION, DEPARTMENT OF TRANSPORTATION
 
PART 420_PLANNING AND RESEARCH PROGRAM ADMINISTRATION--Table of Contents
 
    Subpart B_Research, Development and Technology Transfer Program 
                               Management
 
Sec. 420.209  What are the conditions for approval?

    (a) As a condition for approval of FHWA planning and research funds 
for RD&T activities, a State DOT must develop, establish, and implement 
a management process that identifies and results in implementation of 
RD&T activities expected to address high priority transportation issues. 
The management process must include:
    (1) An interactive process for identification and prioritization of 
RD&T activities for inclusion in an RD&T work program;
    (2) Use of all FHWA planning and research funds set aside for RD&T 
activities, either internally or for participation in transportation 
pooled fund studies or other cooperative RD&T programs, to the maximum 
extent possible;
    (3) Procedures for tracking program activities, schedules, 
accomplishments, and fiscal commitments;
    (4) Support and use of the TRIS database for program development, 
reporting of active RD&T activities, and input of the final report 
information;
    (5) Procedures to determine the effectiveness of the State DOT's 
management process in implementing the RD&T program, to determine the 
utilization of the State DOT's RD&T outputs, and to facilitate peer 
exchanges of its RD&T Program on a periodic basis;
    (6) Procedures for documenting RD&T activities through the 
preparation of final reports. As a minimum, the documentation must 
include the data collected, analyses performed, conclusions, and 
recommendations. The State DOT must actively implement appropriate 
research findings and should document benefits; and
    (7) Participation in peer exchanges of its RD&T management process 
and of other State DOTs' programs on a periodic basis. To assist peer 
exchange teams in conducting an effective exchange, the State DOT must 
provide to them the information and documentation required to be 
collected and maintained under this subpart. Travel and other costs 
associated with the State DOT's peer exchange may be identified as a 
line item in the State DOT's work program and will be eligible for 100 
percent Federal funding. The peer exchange team must prepare a written 
report of the exchange.
    (b) Documentation that describes the State DOT's management process 
and the procedures for selecting and implementing RD&T activities must 
be developed by the State DOT and submitted to the FHWA Division office 
for approval. Significant changes in the management process also must be 
submitted by the State DOT to the FHWA for approval. The State DOT must 
make the documentation available, as necessary, to facilitate peer 
exchanges.
    (c) The State DOT must include a certification that it is in full 
compliance with the requirements of this subpart in each RD&T work 
program. If the State DOT is unable to certify full compliance, the FHWA 
Division Administrator may grant conditional approval of the State DOT's 
work program. A conditional approval must cite those areas of the State 
DOT's management process that are deficient and require that the 
deficiencies be corrected within 6 months of conditional approval. The 
certification must consist of a statement signed by the Administrator, 
or an official designated by the Administrator, of the State DOT 
certifying as follows: ``I (name of certifying official), (position 
title), of the State (Commonwealth) of --------, do hereby

[[Page 89]]

certify that the State (Commonwealth) is in compliance with all 
requirements of 23 U.S.C. 505 and its implementing regulations with 
respect to the research, development, and technology transfer program, 
and contemplate no changes in statutes, regulations, or administrative 
procedures which would affect such compliance.''
    (d) The FHWA Division Administrator shall periodically review the 
State DOT's management process to determine if the State is in 
compliance with the requirements of this subpart. If the Division 
Administrator determines that a State DOT is not complying with the 
requirements of this subpart, or is not performing in accordance with 
its RD&T management process, the FHWA Division Administrator shall issue 
a written notice of proposed determination of noncompliance to the State 
DOT. The notice will set forth the reasons for the proposed 
determination and inform the State DOT that it may reply in writing 
within 30 calendar days from the date of the notice. The State DOT's 
reply should address the deficiencies cited in the notice and provide 
documentation as necessary. If the State DOT and the Division 
Administrator cannot resolve the differences set forth in the 
determination of nonconformity, the State DOT may appeal to the Federal 
Highway Administrator whose action shall constitute the final decision 
of the FHWA. An adverse decision shall result in immediate withdrawal of 
approval of FHWA planning and research funds for the State DOT's RD&T 
activities until the State DOT is in full compliance.

(The information collection requirements in Sec. 420.209 have been 
approved by the OMB and assigned control number 2125-0039.)